FCA Strategy Review Re-reviewed
New strategy moves away from C1 – C4 conduct categories
Compliance Officer Prohibition
Prohibition: Publication of three Final Notices reminds us that the FCA may pursue individuals
FCA: Enhanced Supervision
The FCA publishes policy statement on how it will address serious failings of standards, governance and culture in firms; ‘Tackling serious failings in firms’.
Outsourcing Working Group
Group published response to FCA thematic report
Outsourcing & Asset Management
FCA thematic review focussed on Oversight Risk and Resilience Risk
FCA Supervision Approach
Increased use of thematic reviews a possibility